AI + Fraud

How does the economy shape the financial advisory profession?

Management Science 2021, 67(4): 2466–2482

with Luo Zuo

Financial advisors who start in recessions are less likely to commit misconduct throughout their career.

Key takeaways

Career imprinting

When you start your career matters. We examine how economic conditions at the time of entering the financial advisory profession affect long-term behavior.

Recessions change who enters the profession and how they behave. During downturns, fewer people become financial advisors. Those who do enter are more committed and face tougher screening.

What we found

Advisors who begin their careers during recessions are significantly less likely to commit professional misconduct. This effect is not temporary. It persists throughout their careers.

The recession experience creates a lasting imprint. Early-career hardship appears to instill greater caution, professionalism, or ethical awareness.

Implications

For investors: consider when your advisor entered the profession. For regulators: economic conditions affect the quality of the professional workforce in ways that persist for decades. For the profession: early career experiences matter more than we might assume.

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